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Compliance Advisory Associate

Michael Page
Closing date
29 Oct 2021

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Contract Type
Full Time
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Our client are a leading Global Investment Management firm with offices in London,New York and numerous other global locations.

Job Description
The Compliance Advisory Associate will be responsible for:
  • Working with the Team Lead to provide qualitative compliance advice and support to the relevant business areas;
  • Review of relevant regulatory developments and onward communication to the relevant business areas where appropriate;
  • Active participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives;
  • Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate boards, business stakeholders and business Oversight Committees;
  • Representing Compliance throughout the Product Development process of Alternatives products, including review of fund documentation and provision of regulatory advice as it relates to conflicts of interest, risk factors and legal structure considerations;
  • Liaising with portfolio managers and other investment staff on regulatory matters and the application of compliance policies, e.g., inside information and wall-crossings, crossing, allocation and re-allocation, conflicts of interest;
  • Support of the Capital Markets Team on regulatory matters including advising on application of Information Barrier policy, Restricted Lists and regulatory requests for information;
  • Partnering with Legal and the Investment teams to provide regulatory advice and support on transactional matters;
  • Drafting and maintenance of policies and procedures;
  • Designing and delivering effective regulatory training initiatives to the team
The Successful Applicant
The Compliance Advisory Associate should have the following skills:Knowledge
  • The ideal candidate will have a minimum of 3 years compliance advisory experience
  • Preferable if the individual has worked in a role supporting investment teams operating within both the public and private markets;
  • The candidate must have excellent communication skills and be able to articulate complex issues in a clear and concise manner;
  • Must be able to demonstrate dynamism, enthusiasm, resilience, tenacity, diplomacy and above all, sound judgement under pressure;Self-motivated and solutions-driven with ability to use initiative and think laterally to navigate problems;
  • Ability to influence a highly-performing internal client base by delivering timely, credible, accurate and value-added advice.
  • Able to consistently demonstrate high standards of professional accuracy and excellent attention to detail.
  • Self-motivation, the ability to work autonomously and high energy levels.

• Relevant experience within a compliance function

• Educated to degree level, possibly with a professional qualification e.g., ACA, CFA, IMC;

• Strong working knowledge of FCA Rules and other EMEA regulatory requirements.

What's on Offer
Salary of £60,000 -£75,000 plus attractive benefits package

Karen O'Neill

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Phone number
+44 207 645 1432
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